ApprovED

International Process Guidelines Legislation Applicable Sector

LA_BUC_06 - Request for more information

Date: 01/09/2019 Version of guidelines document: 4.2.0 Based on: LA_BUC_06 version 4.2.0 Common Data Model version 4.2.0

TABLE OF CONTENTS

LA_BUC_06 – Request for more Information.......................................................................................... 4 How to start this BUC? ............................................................................................................. 5 What is my role in the social security exchange of information I have to complete?............. 5 CO.1 Who do I need to notify? ................................................................................................ 5 CO.2 How do I identify the correct institution(s) to exchange information with? .................. 5 CO.3 How do I proceed after having identified the Counterparty?......................................... 5 CO.4 How should I proceed if I have received SED A006 - 'Reply to Request for more Information'? ........................................................................................................................... 6 CP.1 What should I do if I have received the SED A005 – ' Request for more Information'? .. 6 CP.2 What should I do after I sent the SED A006 – 'Reply to Request for more Information'? ................................................................................................................................................. 6 BPMN diagram for LA_BUC_06 ............................................................................................................... 7 Structured Electronic Documents (SEDs) used in the process ................................................................ 7

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Document history:

Revision Date Created by Short Description of Changes V0.1 07/08/2017 Secretariat First draft of the document submitted for review to the Legislation Applicable Ad Hoc group V0.2 27/10/2017 Secretariat Applied changes following the review of the Legislation Applicable Ad Hoc group V0.99 04/12/2017 Secretariat Implemented changes and updates following the AC review. Version submitted for AC approval. V1.0 19/12/2017 Secretariat AC approved version. V4.1.0 01/10/2018 Secretariat Performed patch changes to reference the new CDM version 4.1.0. V4.2.0 01/09/2019 Secretariat Performed patch changes to reference the new CDM version 4.2.0

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LA_BUC_06 – Request for more Information

Description: The "Request for more information" business process in the Legislation Applicable sector, describes how a Member State can ask for more information from other Member State(s), in order to determine the legislation applicable. The process involves a simple request-reply exchange of messages between a competent institution, competent authority or the designated body of a Member State to another competent authority(ies) or designated body(ies) from a different Member State. The responding institution(s) may provide the requested information or may forward the request to another competent institution(s), competent authority(ies) or designated body(ies), who take(s) the responsibility for providing the requested information.

Legal base: LA_BUC_06 is based on Regulation No 883/2004 and Implementing Regulation No 987/2009. The following table specifies SEDs used in this BUC and documents the articles that provide the legal basis for each SED: Basic Regulation Implementing Regulation (883/04) (987/09) SED Title II Title II Art 2.2 A005 Request for more information  A006 Reply to Request for more information   

Glossary of relevant terms used in LA_BUC_06:

Term used Description

Case Owner In this BUC the Case Owner is a Competent Institution, Competent Authority or Designated Body (further referred as “Competent Institution”) that requests for more information from another Competent Institution(s).

Counterparty In this BUC the Counterparty is a Competent Institution(s) that is requested to provide more information.

Citizen In this BUC the Citizen is the person who works or used to work in at least one other Member States and/or the person receiving/having been receiving certain benefits based on previous employment from another Member State.

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How to start this BUC?

In order to help you understand the LA_BUC_06 we have created a set of questions that will guide you through the main scenario of the process as well as possible sub-scenarios or options available at each step along the way. Ask yourself each question and click on one of the hyperlinks that will guide you to the answer in the next step within this document or to another separate file. You will notice that in some of the steps it is allowed to use the additional horizontal and administrative sub- processes. They will be listed under the step description.

What is my role in the social security exchange of information I have to complete? If you are the Competent Institution of a Member State, Competent Authority or Designated Body (further referred as “Competent Institution”) that request for more information from another Competent Institution(s), your role will be defined as the Case Owner. I am the Case Owner. (step CO.1) If you are the Competent Institution that is requested to provide more information, your role will be defined as the Counterparty. I am the Counterparty. (step CP.1)

CO.1 Who do I need to notify? As the Case Owner, your first step will be to identify the responsible Member State(s) from which you need to request more information. The second step is to identify the relevant institutions in these Member States that are responsible for the information you require. In this Business Use Case, the institution can be chosen only among the institutions responsible for the applicable legislation. This activity will define the Counterparty(ies) you will be working with. I need to identify the Counterparty or Counterparties. (step CO.2) I have identified the Counterparty or Counterparties I need to contact. (step CO.3)

CO.2 How do I identify the correct institution(s) to exchange information with? In order to determine the relevant Competent Institution(s) from other Member State(s) you will need to consult the Institution Repository (IR). The IR provides an electronic record of all current and previous Competent Institutions and Liaison Bodies that have been responsible for the cross border coordination of social security information for each of the relevant Member States. Please note that the Liaison Body should be chosen only if it is impossible to identify the correct Competent Institution in the respective Member State or if the case is handled by the Liaison Body. To access the IR please use the following link. I have now identified the Competent Institution(s) from the Member State(s) I need to contact. (step CO.3)

CO.3 How do I proceed after having identified the Counterparty? After you have identified the Counterparty(ies), fill out SED A005 - ' Request for more Information' by entering all the required information then send SED A005 to the identified Counterparty(ies), optionally including relevant attachments. The Counterparty(ies) will receive SED A005, they will review it and fill out the SED A006 reply. I have received SED A006 (step CO.4) Sub-process steps available to the Case Owner at this stage: I want to add another participant to this case (AD_BUC_03).

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I want to forward the case to another Institution in my Member State (AD_BUC_05). I want to invalidate the sent SED (AD_BUC_06). I want to update the information contained in the sent SED (AD_BUC_10). I want to send a Reminder for the return of information I am expecting (AD_BUC_07). I want to Remove Participant (AD_BUC_04).

CO.4 How should I proceed if I have received SED A006 - 'Reply to Request for more Information'? The Counterparty(ies) fill(s) out the requested information and send(s) SED A006 - 'Reply to Request for more Information' back to you (the Case Owner). You review the A006 and might ask for more information again by repeating the step CO.3 (i.e. sending again SED A005 request(s)). In case you decide to close the business use case, wait for a period of 30 calendar days prior to closing it, in order to get and process all the replies. The Case Owner may reopen the business use case. Sub-process steps available to the Case Owner at this stage: I want to add another participant to this case (AD_BUC_03). I want to forward the case to another Institution in my Member State (AD_BUC_05). I want to invalidate the sent SED (AD_BUC_06). I want to update the information contained in the sent SED (AD_BUC_10). I want to reopen this case after it has been closed (AD_BUC_02). I want to send a Reminder for the return of information I am expecting (AD_BUC_07). I want to Remove Participant (AD_BUC_04).

CP.1 What should I do if I have received the SED A005 – ' Request for more Information'? The Case Owner sends SED A005 to you (and possibly to other Counterparties), having the option to add relevant documents as attachments. You (the Counterparty) reply with the requested information by filling out and sending SED A006 to the Case Owner, optionally with relevant attachments. Then the Case Owner may choose to close the business use case after 30 days or to ask more information. I have to send SED A006 (step CP.2) Sub-process steps available to the Counterparty before the case has been closed by the Case Owner: I want to add another participant to this case (AD_BUC_03). I want to forward the case to another Institution in my Member State (AD_BUC_05). I want to reopen this case after it has been closed (AD_BUC_02). I want to Remove Participant (AD_BUC_04).

CP.2 What should I do after I sent the SED A006 – 'Reply to Request for more Information'? The Case Owner may wait 30 days and then close the BUC or he may ask more information by sending again SED A005 to the Counterparty(ies). Should more information be asked, then CP.1 will be repeated. Sub-process steps available to the Counterparty before the case has been closed by the Case Owner: I want to add another participant to this case (AD_BUC_03). I want to forward the case to another Institution in my Member State (AD_BUC_05). I want to Remove Participant (AD_BUC_04). I want to Update SED (AD_BUC_10). I want to Invalidate SED (AD_BUC_06).

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BPMN diagram for LA_BUC_06

Click here to open the BPMN diagram(s) for LA_BUC_06.

Structured Electronic Documents (SEDs) used in the process

The following SED is used in LA_BUC_06: • SED A005 – Request for more Information • SED A006 – Reply to Request for more Information

Administrative sub-processes

The following administrative sub-processes are used in LA_BUC_06: • AD_BUC_02_Sub-process – Reopen Case • AD_BUC_03_Sub-process – Add Participant • AD_BUC_05_Sub-process – Forward Case • AD_BUC_06_Sub-process – Invalidate SED • AD_BUC_10_Sub-process – Update SED • AD_BUC_01_Sub-process – Close Case • AD_BUC_04_Sub-process – Remove Participant • AD_BUC_07_Sub-process – Reminder The following technical administrative sub-processes can be used at any point in the process: • AD_BUC_11_Sub-process – Business Exception • AD_BUC_12_Subprocess – Change of Participant

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